U.S. Securities Exchange Act of 1934

E3773
United States federal statute financial regulation law securities law

The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.

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All labels observed (8)

Label Occurrences
Securities Exchange Act of 1934 45
Exchange Act 3
U.S. Securities Exchange Act of 1934 canonical 3

Statements (63)

Predicate Object
instanceOf United States federal statute ⓘ
financial regulation law ⓘ
securities law ⓘ
amendedBy Dodd–Frank Wall Street Reform and Consumer Protection Act ⓘ
Sarbanes–Oxley Act of 2002 ⓘ
authorizes SEC to bring civil enforcement actions ⓘ
SEC to conduct investigations ⓘ
SEC to promulgate rules and regulations ⓘ
category U.S. securities regulation ⓘ
citation 15 U.S.C. § 78a et seq. ⓘ
containsSection Section 10(b) ⓘ
Section 12 ⓘ
Section 13 ⓘ
Section 14 ⓘ
Section 15 ⓘ
Section 16 ⓘ
Section 21 ⓘ
country United States of America ⓘ
surface form: United States
createdAgency Securities and Exchange Commission ⓘ
surface form: U.S. Securities and Exchange Commission
dateEnacted June 6, 1934 ⓘ
empowers U.S. Securities and Exchange Commission to enforce federal securities laws ⓘ
enactedBy United States Congress ⓘ
establishes anti-fraud provisions ⓘ
disclosure obligations for issuers with publicly traded securities ⓘ
insider trading prohibitions ⓘ
periodic reporting requirements for public companies ⓘ
proxy solicitation rules ⓘ
registration requirements for broker-dealers ⓘ
registration requirements for national securities exchanges ⓘ
tender offer regulations ⓘ
focus regulation of secondary markets rather than primary offerings ⓘ
governs corporate governance aspects related to shareholder voting and proxies ⓘ
historicalContext New Deal legislation ⓘ
impact foundation of modern U.S. securities market regulation ⓘ
jurisdiction United States government ⓘ
surface form: federal government of the United States
keyProvision Rule 10b-5 ⓘ
Section 13(d) ⓘ
Section 14(a) ⓘ
Section 16(b) ⓘ
language English ⓘ
prohibits manipulative and deceptive devices in connection with the purchase or sale of securities ⓘ
trading on the basis of material nonpublic information ⓘ
publicLawNumber Public Law 73-291 ⓘ
purpose prevent market manipulation and abuses ⓘ
regulate secondary trading of securities ⓘ
restore investor confidence after the 1929 stock market crash ⓘ
regulates broker-dealers ⓘ
clearing agencies ⓘ
national securities exchanges ⓘ
over-the-counter securities markets ⓘ
secondary trading of bonds ⓘ
secondary trading of other securities ⓘ
secondary trading of stocks ⓘ
securities associations ⓘ
transfer agents ⓘ
relatedTo U.S. Securities Act of 1933 ⓘ
requires public companies to file annual reports on Form 10-K ⓘ
public companies to file current reports on Form 8-K ⓘ
public companies to file quarterly reports on Form 10-Q ⓘ
shortName U.S. Securities Exchange Act of 1934 self-linksurface differs ⓘ
surface form: Exchange Act

’34 Act ⓘ
signedBy President Franklin D. Roosevelt ⓘ
surface form: Franklin D. Roosevelt
yearEnacted 1934 ⓘ

Referenced by (56)

Full triples — surface form annotated when it differs from this entity's canonical label.

Great Depression → hasKeyEvent → U.S. Securities Exchange Act of 1934 ⓘ
Securities and Exchange Commission → foundedByStatute → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Securities and Exchange Commission → enforces → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
U.S. Securities Act of 1933 → relatedTo → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Division of Investment Management → appliesLaw → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
U.S. Securities Exchange Act of 1934 → shortName → U.S. Securities Exchange Act of 1934 self-linksurface differs ⓘ
this entity surface form: Exchange Act
Division of Enforcement → legalAuthority → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
73rd United States Congress → enacted → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Public Utility Holding Company Act of 1935 → relatedTo → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Investment Company Act of 1940 → relatedTo → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Investment Advisers Act of 1940 → relatedTo → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
’33 Act → amendedBy → U.S. Securities Exchange Act of 1934 ⓘ
subject surface form: '33 Act
this entity surface form: Securities Exchange Act of 1934
’33 Act → distinguishedFrom → U.S. Securities Exchange Act of 1934 ⓘ
subject surface form: '33 Act
this entity surface form: Securities Exchange Act of 1934
Wall Street Crash of 1929 → influenced → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Title 15 of the United States Code → contains → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934 provisions
NYSE American → primaryRegulatoryJurisdiction → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: United States federal securities law
Regulation T → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Division of Corporation Finance → worksOn → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934 reporting requirements
Office of Compliance Inspections and Examinations → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
U.S. Congress (indirectly through SEC oversight) → enactsLaw → U.S. Securities Exchange Act of 1934 ⓘ
subject surface form: U.S. Congress
this entity surface form: Securities Exchange Act of 1934
’34 Act → fullName → U.S. Securities Exchange Act of 1934 ⓘ
subject surface form: '34 Act
this entity surface form: Securities Exchange Act of 1934
’34 Act → abbreviation → U.S. Securities Exchange Act of 1934 ⓘ
subject surface form: '34 Act
this entity surface form: Exchange Act
Public Law 73-291 → hasTitle → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Public Law 73-291 → shortTitle → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Public Law 73-291 → alsoKnownAs → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Exchange Act
Rule 10b-5 → partOf → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Public Law 111-203 → amended → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Office of Structured Finance → governedBy → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
United States federal securities markets → legalFramework → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Division of Enforcement of the SEC → legalAuthority → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Securities Act Amendments of 1964 → amends → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
National Securities Markets Improvement Act of 1996 → amends → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Commerce and Trade → contains → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934 (codified sections)
Regulation NMS → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
SEC filings → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Reg T → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Regulation G → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Regulation G → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Section 7 of the Securities Exchange Act of 1934
Sarbox → amends → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Form BD → requiredBy → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Creation of the Securities and Exchange Commission → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Division of Investment Management of the SEC → usesAuthorityFrom → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
FINRA Code of Arbitration Procedure → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 → partOf → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Division of Trading and Markets of the SEC → governingLaw → U.S. Securities Exchange Act of 1934 ⓘ
subject surface form: Division of Trading and Markets
this entity surface form: Securities Exchange Act of 1934
111-203 → amends → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Chair of the U.S. Securities and Exchange Commission → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
Chair of the U.S. Securities and Exchange Commission → createdBy → U.S. Securities Exchange Act of 1934 ⓘ
Asset Management Unit → enforces → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934
Market Abuse Unit → legalBasis → U.S. Securities Exchange Act of 1934 ⓘ
this entity surface form: Securities Exchange Act of 1934